Additional Selling Agent definition

Additional Selling Agent is a registered broker-dealer and member of FINRA and is organized in accordance with the laws of the state or country of its formation.
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Additional Selling Agent is a Broker/Dealer and NASD member and is organized in accordance with the laws of the state or country of its formation.
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Examples of Additional Selling Agent in a sentence

  • The Additional Selling Agent hereby accepts such invitation and agrees to participate in such offer for sale on the terms and conditions set out in this Agreement.

  • Furthermore, the Lead Selling Agent shall not compensate the Additional Selling Agent, and the Additional Selling Agent shall not compensate its employees or other persons, unless the recipient thereof is legally qualified and permitted to receive such compensation.

  • The Additional Selling Agent will retain the evidence of verification of identity and records of all transactions for at least five years following the ending of the relationship with any person for whom orders for the subscription of Units have been effected.

  • The Additional Selling Agent agrees that no commission will be due or owing to the Additional Selling Agent on any transactions, which are refused or cancelled.

  • The Lead Selling Agent agrees that it will take such steps to ensure the confidentiality of the Additional Selling Agent's client list as the Additional Selling Agent may reasonably request.

  • The Additional Selling Agent shall conduct a thorough review of the suitability of each subscriber for Units that it solicits and of the Subscription Documents.

  • Any such act will create a separate liability of Additional Selling Agent to any and all third parties affected as a consequence.

  • The Additional Selling Agent shall not, directly or indirectly, pay or award any finder's fees, commissions or other compensation to any person engaged by a potential investor for investment advice as an inducement to such advisor to advise the purchase of Units; provided, however, the normal sales commissions payable to a registered broker-dealer or other properly licensed person for selling Units shall not be prohibited hereby.

  • Nothing in this Agreement shall be construed so as to require any payment to the Additional Selling Agent for procuring potential purchasers who, for any reason, do not purchase Units.

  • This indemnity agreement is in addition to any liability that the Issuer may otherwise have to you, any Additional Selling Agent, or any other indemnified person pursuant to the applicable securities and other laws.

Related to Additional Selling Agent

  • Additional Servicer Each affiliate of each Servicer that services any of the Mortgage Loans and each Person who is not an affiliate of the any Servicer, who services 10% or more of the Mortgage Loans. For clarification purposes, the Master Servicer and the Securities Administrator are Additional Servicers.

  • Selling Agent Morgan Stanley & Co.

  • Additional Purchasers means purchasers of Additional Notes.

  • Additional Secured Parties means any Additional Agents and any Additional Creditors.

  • Locational UCAP Seller means a Member that sells Locational UCAP.